期货投资者权益保护法律制度研究

发布时间：2018-01-05 17:15

本文关键词：期货投资者权益保护法律制度研究　出处：《西南财经大学》2013年硕士论文　论文类型：学位论文

【摘要】：期货交易特有的交易规则和高风险性,决定了保护期货投资人利益是维护期货市场健康运行的首要因素,中国期货市场发展力量不均衡、投资主体结构不尽合理、市场投机较盛,期货投资者由于信息、技术、专业等方面的限制和约束,与期货交易所、期货公司相对总是处于弱势地位,这种实质的不平等在以信息的获取为基础的期货交易市场上表现的尤为突出。这就要求法律对弱势群体的保护有所倾斜,才能合理的实现公平正义。另一方面,只有真正保护期货投资者合法利益的期货市场,才能给投资者以安全感和投资信心,期货市场才能长远发展和稳健发展。为此,通过相关法律制度的建构,最大限度的维护期货交易市场的公开、公平、公正,使广大投资者的合法利益得到全面有效的保护,是我国期货市场今后所面临的一项重要课题。本文从期货投资人法律保护的角度对国内外的期货法律制度进行梳理和比较,借鉴国外发达资本市场国家期货投资人保护制度的先进经验,并深入评析我国现行期货法律制度对期货投资人保护的价值及存在的缺失。从宏观层面和微观层面探讨期货投资者法律保护的实现途径。论证安全、高效、公平的期货市场秩序的维护和对契约精神的尊重或可成为期货法律制度的基本原则。从我国期货市场发展实际情况出发,提出完善期货投资人法律保护的建议。
[Abstract]:The unique trading rules and high risk of futures trading determine that protecting the interests of futures investors is the primary factor to maintain the healthy operation of futures market. The development of Chinese futures market is unbalanced. The investment subject structure is unreasonable, the market speculation is flourishing, the futures investors are always in a weak position with the futures exchange because of the restriction and restriction of information, technology, specialty and so on. This kind of substantial inequality is particularly prominent in the futures trading market based on the access to information, which requires the law to be inclined to the protection of the vulnerable groups, in order to reasonably realize the fairness and justice. On the other hand. Only the futures market that really protects the legitimate interests of futures investors can give investors a sense of security and investment confidence, and the futures market can develop in the long term and steadily. Therefore, through the construction of relevant legal system. It is an important subject for China's futures market to maintain the openness, fairness and justice of futures market to protect the legitimate interests of investors in an all-round and effective way. From the perspective of the legal protection of futures investors, this paper combs and compares the domestic and foreign futures legal systems, and draws lessons from the advanced experience of the national futures investor protection system in developed capital markets. And deeply analyzes the value of the current futures legal system to the protection of futures investors and the lack of existing. From the macro and micro levels to explore the way to achieve the legal protection of futures investors to demonstrate the safety and efficiency. The maintenance of fair futures market order and respect for the spirit of contract may become the basic principles of the futures legal system. Based on the actual situation of the development of futures market in China, the paper puts forward some suggestions to perfect the legal protection of futures investors.
【学位授予单位】：西南财经大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.28

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